Investment Advisers Act Applications, Notices and Orders Archive: 2020

First Quarter

This page lists certain notices, orders, and applications filed under the Investment Advisers Act (IAA) issued after January 1, 2006. For other materials related to the Commission's oversight and regulation of the investment management industry, investment companies (including mutual funds), and investment advisers, see the Division of Investment Management.

Additional Archives

Chronological List

IAA File Number List

(Search any column)
Release No. Date Details
803-00247
Amended Application Dec. 8, 2020 Lewis Family Advisors, LLC (Application)
803-00252
IA-5635 Dec. 2, 2020 Arena Holdings Management LLC (Order)
803-00252
IA-5624 Nov. 5, 2020 Arena Holdings Management LLC (Notice)
803-00253
IA-5607 Oct. 6, 2020 D.B. Fitzpatrick & Co., Inc. (Notice)
803-00250
IA-5565 Aug. 25, 2020 Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (Order)
803-00252
Amended Application Aug. 4, 2020 Arena Holdings Management LLC (Amended Application)
803-00250
IA-5552 Jul. 28, 2020 Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (Notice)
803-00250
Application Jul. 21, 2020 Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (amended application)
803-00250
Application Apr. 28, 2020 Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (amended application)
803-00246
IA-5505 May 20, 2020 Edmunds Private Capital, LLC (Order)
803-00253
IA-5496 May 5, 2020 D.B. Fitzpatrick & Co., Inc. (Order)
803-00246
IA-5488 Apr. 24, 2020 Edmunds Private Capital, LLC (Notice)
803-00253
IA-5475 Apr. 9, 2020 D.B. Fitzpatrick & Co., Inc. (Notice)
803-00253
Amended Application Mar. 23, 2020 D.B. Fitzpatrick & Co., Inc. (Application)
803-00246
Application Jan. 29, 2020 Edmunds Private Capital, LLC (amended application)
803-00253
Application Jan. 22, 2020 D.B. Fitzpatrick & Co., Inc. (Application)
803-00248
IA-5434 Jan. 16, 2020 Inter-American Development Bank (Order)

File Number List for 2021

Release No. Date Details
803-00253
IA-5607 Oct. 6, 2020 D.B. Fitzpatrick & Co., Inc. (Notice)
IA-5496 May 5, 2020 D.B. Fitzpatrick & Co., Inc. (Order)
IA-5475 Apr. 9, 2020 D.B. Fitzpatrick & Co., Inc. (Notice)
Amended Application Mar. 23, 2020 D.B. Fitzpatrick & Co., Inc. (Application)
Application Jan. 22, 2020 D.B. Fitzpatrick & Co., Inc. (Application)
803-00252
IA-5635 Dec. 2, 2020 Arena Holdings Management LLC (Order)
IA-5624 Nov. 5, 2020 Arena Holdings Management LLC (Notice)
Amended Application Aug. 4, 2020 Arena Holdings Management LLC (Amended Application)
803-00250
IA-5565 Aug. 25, 2020 Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (Order)
IA-5552 Jul. 28, 2020 Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (notice)
Application Jul. 21, 2020 Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (amended application)
Application Apr. 28, 2020 Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (amended application)
803-00248
IA-5434 Jan. 16, 2020 Inter-American Development Bank (Order)
803-00247
Amended Application Dec. 8, 2020 Lewis Family Advisors, LLC (Application)
803-00246
IA-5505 May 20, 2020 Edmunds Private Capital, LLC (Order)
IA-5488 Apr. 24, 2020 Edmunds Private Capital, LLC (Notice)
Application Jan. 29, 2020 Edmunds Private Capital, LLC (amended application)